Marketing Compliance Associate

About the position

As the Marketing Compliance Associate, the main responsibility of the position is to review and approve the firm's retail communications with the public for marketing and advertising initiatives. You will coordinate directly with the Director of Marketing Compliance on the review of advertising communications and marketing materials to ensure compliance with applicable regulatory rules governed by FINRA, SEC, NFA, and CFTC.

Responsibilities

• Assist with the review of marketing and advertising communications for compliance with applicable regulatory requirements
• Help maintain relevant policies and procedures related to marketing and advertising communications
• Maintain the firm's comprehensive record inventory and ensure compliance with firm procedures to evidence reviews, approvals, intended first use and last use dates
• Incorporate relevant changes to regulatory rules applicable to the firm's business into the firm's procedures and ensure new marketing materials are approved accordingly
• Provide other compliance support when needed
• Help provide training and guidance on key policies and procedures related to the firm's marketing compliance program

Requirements

• Active Series 7, 24 and 63 licenses are required to be considered for this role
• Extensive understanding of the regulatory environment regarding FINRA and NFA rules governing broker-dealer communications, including FINRA Rule 2210 and NFA Rule 2-29
• Understanding of various asset classes, and applicable regulatory requirements and guidance, including equities, options, futures, and cryptocurrency
• Effective communication skills and attention to detail
• Ability to work both independently and collaboratively
• Ability to demonstrate good judgement
• Able to exhibit the highest standard of integrity and professional ethics
• Ability to identify potential regulatory compliance issues or changes to applicable regulatory environments
• At least 2-3 years of work experience in the broker-dealer industry
• Undergraduate college degree required
• Compliance experience strongly preferred

Nice-to-haves

• Series 4 and Series 3 (will be required post-hire)

Benefits

• Performance Bonuses
• Stock Purchase Options
• 401k Plan
• Medical/Dental/Vision Benefits
• 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
• 10 Paid Sick Days
• Gym Membership Reimbursement
• Commuter Benefits
• Pet Insurance
• Wellness & Mental Health Programs
• Charitable Donation Matching
• Two Paid Volunteer Days Off
• Daily catered lunch when in the office
• Full kitchen with snacks and beverages
• In-building gym
• Shuttle to/from Metra